SEC - Securities and Exchange Commision

Role and Function:

The SEC is a U.S. federal regulatory agency dedicated to protecting investors, maintaining fair and efficient markets, and facilitating capital formation. Its purview includes oversight of securities markets, which involves the regulation of stock exchanges, broker-dealers, and other market participants. For options trading, the SEC ensures that the rules for trading practices, transparency, and disclosure are rigorously followed.

Regularoty Oversight

The SEC has jurisdiction over security-based options and oversees clearing organizations like the OCC. It enforces regulations that govern margin practices, market conduct, and the integrity of the financial system as a whole.

Customer Protection

By setting and enforcing rules, the SEC helps to build investor trust. Its oversight minimizes fraudulent practices and market manipulations, ensuring that customers participate in markets that are both transparent and fair.

Additional Resources:

Securities and Exchange Commission: SEC

A Comprehensive Guide on SEC Filing and Reporting

Wealth Management Strategies Key Regulatory Bodies Of Wealth Management Fin SS V